| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
|
|||||||||||||||
1. Name and Address of Reporting Person*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year) 11/09/2020 |
3. Issuer Name and Ticker or Trading Symbol
BlackRock Capital Investment Corp [ BKCC ] |
|||||||||||||
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
5. If Amendment, Date of Original Filed
(Month/Day/Year) |
||||||||||||||
6. Individual or Joint/Group Filing (Check Applicable Line)
| |||||||||||||||
| Table I - Non-Derivative Securities Beneficially Owned | |||
|---|---|---|---|
| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock | 1,029 | D | |
|
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Phantom Shares | (1) | (1) | Common Stock | 804.3865 | (1) | D | |
| Explanation of Responses: |
| 1. A phantom share is the economic equivalent of one share of common stock and, subject to the applicable vesting requirements, becomes payable in cash. These phantom shares vest in equal installments on each of the first three anniversaries of the award date of January 31, 2017. |
| Remarks: |
| /s/ Laurence D. Paredes as Attorney-in-Fact | 11/09/2020 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||
POWER OF ATTORNEY
The undersigned hereby authorizes, designates and appoints
Laurence D. Paredes to act as attorney-in-fact to execute and file statements on
Form
ID, Form 3, Form 4 and Form 5 and any successor forms adopted by the
Securities and Exchange Commission, as required by the Securities Act of 1933,
the Securities Exchange Act of 1934 (the “1934 Act”) and the
Investment Company Act of 1940 and the
rules thereunder, and to take such other actions as such attorney-in-fact
may deem necessary or appropriate in connection with such statements, hereby
confirming and ratifying all actions that such attorney-in-fact have taken or
may take in reliance
hereon. This power of attorney shall continue in effect until
the undersigned no longer has an obligation to file statements on the forms
cited above, or until specifically terminated in writing by the
undersigned.
IN WITNESS WHEREOF, the undersigned has caused this Power of
Attorney to be executed as of this 3rd day of November, 2020.
|
By:
|
/s/ Abby Miller
|
|
|
Name: Abby Miller
|
||